Andrew Rogers, CEO of The Gemini Companies, recently penned the article, “SEC Proposals Target Mutual Funds”, for Investment News.

“The regulatory environment for financial services is ever-changing, and periods following market disruptions create opportunities for regulators to propose new rules to prevent further failures. For example, the financial crisis of 2008 resulted in Dodd-Frank, which set forth new rules centered on capitalization requirements to prevent similar events. Regulators are now proposing rules for advisers and investment companies that will change the mutual fund universe.”

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